James H. Glen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Henry Glen JR, who also goes by (jr) James Henry Glen, James Henry Jr Glen, Jim Glen, Jimmy Glen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2003 - April 28, 2014
ALLEN C. EWING & CO.
February 21, 2002 - May 8, 2003
FIG PARTNERS, LLC
October 15, 2001 - March 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1983 - October 15, 2001
WACHOVIA SECURITIES, INC.
June 10, 1983 - November 4, 1983
FONVILLE- GLEN & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
